SEC changes disclosure rules, redefines ‘accredited investors’

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SEC changes disclosure rules, redefines ‘accredited investors’

The SEC voted Wednesday to change certain public company disclosures and make more investors eligible to participate in private capital markets as accredited investors.

Public company disclosures of the description of business (Item 101), legal proceedings (Item 103), and risk factors (Item 105) will change after the SEC adopted amendments to Regulation S-K.

The new disclosure requirements are rooted in materiality and designed to facilitate an understanding of each registrant’s business, financial condition, and prospects.

Item 101(a) will be amended by:

Item 101(c) will be amended by:

Item 103 will be amended by:

Amend Item 105 by:

The amendments will take effect 30 days after publication in the Federal Register.

“Building on our time-tested, principles-based disclosure framework, the rules we adopt today are rooted in materiality and seek to elicit information that will allow today’s investors to make more informed investment decisions,” SEC Chairman Jay Clayton said in a news release. “I am particularly supportive of the increased focus on human capital disclosures, which for various industries and companies can be an important driver of long-term value.”

The SEC’s previous definition of “accredited investor” limited private capital market participation to investors who met specific income or net worth tests.

The amended definition provides eligibility to investors who don’t pass the existing tests for income or net worth but meet defined measures of professional knowledge, experience, or certifications. Holders of SEC Series 7, Series 65, and Series 82 licenses now qualify as accredited investors, and the SEC says members of the public may wish to propose additional certifications, designations, or credentials that satisfy the attributes set out in the new rule.

In addition, the amendments to the accredited investor definition in Rule 501(a):

An amendment to Rule 215 replaces the existing definition with a cross-reference to the definition in Rule 501(a).

In addition, the amendments expand the definition of “qualified institutional buyer” in Rule 144A to include LLCs and rural business investment companies if they meet the $100 million in securities owned and invested threshold of the definition.

The amendments also add to the list any institutional investors included in the accredited investor definition that are not otherwise enumerated in the definition of “qualified institutional buyer,” provided they satisfy the $100 million threshold.

The SEC also adopted conforming amendments to Rule 163B under the Securities Act and to Rule 15g-1 under the Exchange Act.

Ken Tysiac (Kenneth.Tysiac@aicpa-cima.com) is the JofA’s editorial director.

Research & References of SEC changes disclosure rules, redefines ‘accredited investors’|A&C Accounting And Tax Services
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